- Financial regulation
Financial regulations are a form of
regulationor supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. This may be handled by either a governmentor non-government organization.
Aims of regulation
The specific aims of financial regulators are usually:
* To enforce applicable laws
* To prosecute cases of market misconduct, such as
* To license providers of financial services
* To protect clients, and investigate complaints
* To maintain confidence in the financial system
=Authority by Country= :"See main article
List of financial regulatory authorities by country"The following is a short listing of regulatory authorities in various jurisdictions, for a more complete listing, please see list of financial regulatory authorities by country.
U.S. Securities and Exchange Commission(SEC), USA
Securities and Exchange Surveillance Commission(SESC), Japan
Investment Dealers Association of Canada(IDA), Canada
Irish Financial Services Regulatory Authority, Ireland
Financial Services Authority(FSA), UK
Autorité des marchés financiers(AMF), France
Financial Supervisory Commission(FSC), Taiwan
China Securities Regulatory Commission(CSRC), People's Republic of China
China Insurance Regulatory Commission(CIRC), People's Republic of China
China Banking Regulatory Commission(CBRC), People's Republic of China
Securities and Exchange Commission of Pakistan, Pakistan
Comisión Nacional Bancaria y de Valores, Mexico
Security and Exchange Board of India, India
Australia, the Australian Prudential Regulation Authority(APRA) supervises banks and insurers. Australian Securities and Investments Commission(ASIC) is responsible for enforcing financial services and corporations laws.
* [http://www.law.uc.edu/CCL/ Securities Lawyer's Deskbook] from the
University of CincinnatiCollege of Law
* [http://www.seclaw.com Securities Law Home Page]
* [http://www.compliance-exchange.com The Compliance Exchange] Jonathan Halsey's financial regulation research resource
* [http://www.imf.org/external/pubs/ft/survey/so/2008/RES02408A.htm Ana Carvajal, Jennifer Elliott: IMF Study Points to Gaps in Securities Market Regulation]
* [http://www.iosco.org/library/pubdocs/pdf/IOSCOPD82.pdf IOSCO: Objectives and Principles of Securities Regulation (PDF-Datei 67 Seiten)]
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